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    Archives

    Author Archive for: "Kaitlyn Gibbs"
    Home » Archives for Kaitlyn Gibbs
     News Update: SEC Issues Statement Regarding Digital Assets
    By Kaitlyn Gibbs
    In Industry News
    Posted July 25, 2019

    News Update: SEC Issues Statement Regarding Digital Assets

    Background & Summary On July 8, 2019, the US Securities and Exchange Commission (SEC) issued a joint statement in conjunction with FINRA’s general counsel addressing various elements of [...]

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     Annual Broker-Dealer Regulatory Review and 2019 Outlook
    By Kaitlyn Gibbs
    In Broker Dealer
    Posted March 12, 2019

    Annual Broker-Dealer Regulatory Review and 2019 Outlook

    With 2018 behind us and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of 2018 in an effort to anticipate what this [...]

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     Investment Advisers 2018 Regulatory Review and 2019 Outlook
    By Kaitlyn Gibbs
    In Compliance Bulletin, Compliance/ Risk Management
    Posted February 13, 2019

    Investment Advisers 2018 Regulatory Review and 2019 Outlook

    With 2018 in rear-view mirror and 2019 underway, we find ourselves in a position to look back across the regulatory landscape on what transpired over the course of last year in an effort to [...]

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     FINRA 2018 Exam Findings Report and Regulatory Update Reminder
    By Kaitlyn Gibbs
    In Compliance Bulletin, Compliance-TV, Compliance/ Risk Management
    Posted January 8, 2019

    FINRA 2018 Exam Findings Report and Regulatory Update Reminder

    On December 7, 2018, FINRA released their annual Exam Findings Report. This is an important tool for Member Firms to leverage when prioritizing their compliance initiatives for 2019. CRC has [...]

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     Adviser and Broker-Dealer Annual Regulatory Deadlines
    By Kaitlyn Gibbs
    In Broker Dealer, Compliance/ Risk Management
    Posted November 7, 2018

    Adviser and Broker-Dealer Annual Regulatory Deadlines

    Annual Compliance Services Offerings The end of 2018 is approaching quickly. CRC would like to remind you that for brokers and advisers with a December fiscal year-end, annual amendments have [...]

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     News Update: Coinbase Hires Jeff Horowitz to Lead Compliance Initiative as CCO
    By Kaitlyn Gibbs
    In Compliance/ Risk Management, Industry News
    Posted August 9, 2018

    News Update: Coinbase Hires Jeff Horowitz to Lead Compliance Initiative as CCO

    Coinbase, who recently acquired broker-dealer Keystone Capital Corp in June 2018, announced the addition of Jeff Horowitz as the Cryptocurrency exchange’s new Chief Compliance Officer. Prior to [...]

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     News Update: FINRA Notice 18-20
    By Kaitlyn Gibbs
    In Compliance/ Risk Management, Industry News
    Posted July 11, 2018

    News Update: FINRA Notice 18-20

    Background and Summary On July 6, 2018, FINRA published Notice 18-20 regarding member firm involvement in digital currency. This notice addressed the fact that the market for digital assets, [...]

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     Regulatory Focus: Cryptocurrency
    By Kaitlyn Gibbs
    In Broker Dealer
    Posted March 29, 2018

    Regulatory Focus: Cryptocurrency

    According to the 2018 Exam Priorities Report released in February, OCIE plans to monitor the sale of products in the cryptocurrency and initial coin offering markets and examine for regulatory [...]

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     Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule
    By Kaitlyn Gibbs
    In Broker Dealer
    Posted February 22, 2018

    Understanding FinCEN’s Customer Due Diligence (CDD) Final Rule

    Compliance Risk Concepts presents Fast Facts: Customer Due Diligence, A Quick Guide To FinCEN’s New Requirements. It offers a snack-size snapshot of key points from our more detailed regulatory [...]

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     Annual Broker-Dealer Regulatory Review and Outlook
    By Kaitlyn Gibbs
    In Broker Dealer
    Posted January 11, 2018

    Annual Broker-Dealer Regulatory Review and Outlook

    Now that 2017 has ended and 2018 is emerging on the regulatory horizon, we find ourselves in a position to look back on what has transpired over the course of the past year in an effort to [...]

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